In addition to the minimum requirements in §6.94, the
following requirements apply to electronic state records that are
archival for the State Archives, archival for an agency archives,
permanent, and vital:
(1) Archival for the State Archives: Archival electronic
state records indicated by records series that are marked with "A"
(Archival) or "R" (Archival Review) codes in the state agency's certified
records retention schedule, must be:
(A) Offered to the commission for review or transferred
to the custody of the commission when retention requirements are met,
the administrative need of the state agency ends, or earlier as required
and in accordance with Texas Government Code §441.186, unless
the law requires the records to remain with the state agency. A transfer
or review must include the following:
(i) The state agency must contact the commission to
coordinate transfer or review of the archival electronic state records;
(ii) Each records series to be transferred must contain,
at minimum, the following metadata:
(I) Series title (from records retention schedule);
(II) Inclusive dates covered by the transfer;
(III) Arrangement (folder structure) of the records
in the transfer;
(IV) File format(s) represented;
(V) Creating application; and
(VI) Date of last modification;
(iii) Each individual record transferred must include,
at minimum, the following metadata:
(I) Title or subject;
(II) Creator (could be a person, office, division,
and/or state agency); and
(III) Date of creation;
(iv) Metadata must be embedded in the records or provided
in a separate file at the time of transfer;
(v) The state agency must maintain the integrity of
the record through use of checksums on each record transferred;
(vi) The state agency must remove any encryption or
other Digital Rights Management prior to transfer or provide the commission
with method(s) for doing so; and
(vii) The state agency must follow procedures published
on the commission's website for transferring or reviewing archival
electronic state records.
(B) Identified as archival electronic state records
in the custody of the state agency because the commission cannot immediately
accept custody of the records in accordance with Texas Government
Code §441.186(e) and the state agency must:
(i) Maintain documentation for the operating environment
in which the records were created or are being maintained;
(ii) For structured data, also maintain all metadata
required to understand the structure of the records;
(iii) Store records in standard formats as identified
in procedures published on the commission's website , or else:
(I) If business requirements necessitate use of non-standard
formats, the records must be converted to standard formats before
transfer to the commission or before going into long-term storage;
and
(II) If the records are stored in a proprietary system,
the state agency must retain all licenses required to access records;
(iv) Not maintain redacted records as the record copy,
but may store redacted records with the record copy; and
(v) Follow the commission procedures published on the
commission's website for storing archival electronic state records
until transfer to or review by the commission.
(2) Archival for agency archives: For archival electronic
state records indicated by records series that are marked with "A"
or "I" (Archival) or "R" or "O" (Archival Review) codes in the state
agency's certified records retention schedule.
(A) This paragraph applies to:
(i) The small number of agencies which are allowed
by statute to maintain a state agency archive instead of transferring
their archival state records to the commission. Refer to Government
Code Chapter 441 and confirm with the State Archives before implementing
a state agency archives; and
(ii) Archival electronic state records described in
records series marked as "I" (Archival) or "O" (Archival Review) in
a university's certified records retention schedule, which must be
transferred to or reviewed by the university's archives.
(B) Each state agency must:
(i) Have policies and procedures to properly identify,
maintain, migrate, and preserve archival electronic state records;
and
(ii) Adhere to the requirements listed in paragraph
(3) of this section and as issued in commission guidelines.
(3) Permanent: Electronic state records with permanent
retention periods but that are not archival ("A", "I", "O" or "R")
on the state agency's certified records retention schedule:
(A) Must meet the requirements listed in paragraph
(1)(B) or (2) of this section, as applicable;
(B) Must be documented and migrated when necessary
to ensure that they remain permanently accessible and readable; and
(C) May be indexed and converted to microfilm for permanent
retention.
(4) Vital: Vital electronic state records must be included
with special provisions in state agency records management policies
and procedures and the state agency records management program and
the state agency must:
(A) Identify records series containing vital electronic
state records on the state agency's certified records retention schedule;
(B) Create written policies for the protection of vital
electronic state records in all formats and storage locations;
(C) Create written disaster recovery procedures for
accessing vital electronic state records during a disruptive event;
(D) Address vital electronic state records in continuity
of operations, business continuity, and/or disaster recovery plans
as part of the state agency's overall continuity program, as required
in Texas Labor Code §412.054; and
(E) Require all third-party custodians of records holding
records on behalf of the agency to provide the state agency with descriptions
of their business continuity and/or disaster recovery plans as regards
to the protection of the state agency's vital electronic state records.
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